Emergency Shelter Grant Frequently Asked Questions
ESG Regulations
HUD Exchange website: Frequently asked questions on ESG
OHCS Webpage: Program Updates, Manuals, and Forms
|FAQ ID |Question |Date Published |
|1 |Can you use the funding to assist with Oregon ID’s and License’s, birth certificates, cooking propane |12/23/2013 |
| |cylinders, Car: gas, repairs, registration, insurance? | |
|2 |Is the intent of “imminent risk of homelessness for ESG” that a household be facing an eviction that cannot |12/05/2011 |
| |be remedied even with payment within 14 days, or is the intent that they be facing eviction that could be | |
| |remedied with assistance under the program within 14 days? | |
|3 |Can an agency receive an exception to the Conflict of Interest rules regarding the use of ESG funds in |12/23/2013 |
| |agency-owned properties? | |
|4 |Does the 30% area median income (AMI) limit apply to all applicants for ESG assistance? |12/23/2013 |
|5 |If an ESG case manager learns that a program participant’s annual income has increased and now exceeds 30% of|12/23/2013 |
| |AMI, must the recipient or subrecipient immediately stop providing assistance to the program participant? | |
|6 |How much match is required in ESG? |12/23/2013 |
|7 |What Counts as Match? |12/23/2013 |
|8 |How do I pull information from ServicePoint to complete the ESG Provider Report? |12/23/2013 |
|9 |Do non-profit organizations have to check citizen status? |12/23/2013 |
|10 |Do the same rules for lead based paint inspections apply to mobile homes? |12/23/2013 |
|11 |In ESG, when paying rental assistance for a mobile home, is the space rent included in the FMR. |12/23/2013 |
|12 |Can federal TANF & MOE funds be used to match ESG, CoC, SHP, S+C, and the Rural Housing Stability Assistance |12/23/2013 |
| |programs? | |
|13 |What strategies can we employ that will help us implement programs authorized under the HEARTH Act? |07/02/2013 |
|14 |Where can I find nation-wide information on ending homelessness? |07/16/2013 |
|15 |What are the requirements for case management to help ensure housing stability with Rapid Re-Housing and |05/23/2013 |
| |Homelessness Prevention Assistance? | |
|16 |What are the requirements for rental assistance agreements and leases? |09/25/2013 |
|17 |What are the requirements for rent reasonableness and fair market rents? |06/10/2013 |
|18 |Is an Oregon 72-hour notice of eviction sufficient to meet one of the definitions for homelessness? |02/05/2013 |
|19 |What services can be provided under Street Outreach and Emergency Shelter? |07/02/2013 |
|20 |What is “Progressive Engagement”? |03/20/2013 |
|21 |What ESG funds can be used to pay for Identification Documents, such as Driver Licenses, Birth Records, etc.?|01/17/2014 |
| |These documents are necessary to help individuals apply for SSI, SSDI, Employment, housing, etc. | |
|22 |What does an intake assessment look like? |05/19/2015 |
|23 |Are ESG-HP payments on rent arrears subject to FMR restrictions? |05/19/2015 |
|24 |Does a utility shut-off notice suffice for a client to qualify for “at risk of homelessness” for ESG? |05/19/2015 |
|25 |For ESG, is a letter from the landlord to vacate due to doubled up/shared housing living arrangements |05/19/2015 |
| |satisfactory in order to qualify for homeless assistance? | |
|26 |How will client files be monitored under a Coordinated Assessment monitoring process? |05/19/2015 |
|27 |What are ESG occupancy standards? |05/19/2015 |
|28 |When is ESG rapid re-housing reassessment required? |05/19/2015 |
|29 |If a landlord charges a tenant a flat rate for utilities, do you use that as your utility allowance? |05/19/2015 |
|30 |What can we do when vacant unit rents all exceed FMR? |05/19/2015 |
|31 |Does the unit have to meet FMR if all you’re paying is the security deposit? |05/19/2015 |
|32 |If you qualify for a two bedroom unit but find a three bedroom unit for the same rent as the two-bedroom FMR,|05/192015 |
| |how do you work the utility allowance? | |
| | | |
Question 1: Back to Top
Can you use the funding to assist with Oregon ID’s and License’s, birth certificates, cooking propane cylinders, Car: gas, repairs, registration, insurance?
Answer:
See Question 21 for primary documents.
Question 2: Back to Top
Is the intent of “imminent risk of homelessness for ESG” that a household be facing an eviction that cannot be remedied even with payment within 14 days, or is the intent that they be facing eviction that could be remedied with assistance under the program within 14 days?
Answer:
ESG Rule (576.2(c)) states that one criterion for at-risk of homelessness is that the household has been notified in writing that their right to occupy their current housing will be terminated within a specific number of days after the date of application for assistance. The rule does not state that the notice must be irreversible. Homeless prevention assistance can be used to keep a tenant in their current home, so this indicates the remedy of any eviction or other written notice, would be an appropriate use of funds.
When an individual or family presents with a formal court order, the first step would be to discuss the entire living situation:
• Where would you go if you actually are evicted?
• Are there any family or friends who would be willing to help out with paying the rent?
• Can the family be connected to other social networks, such as faith-based to help get them through the crisis?
• What is the household budget like – what could possibly be paid with other funds before using ESG for non-payment of rent – could EHA or TBA be used instead of ESG?
The case manager performs due diligence in attempting to help the individual or family find other resources before using ESG funds. Due diligence means: noting how information was obtained about other resources – what types of questions were asked, what resource were explored.
Question 3: Back to Top
Can an agency receive an exception to the Conflict of Interest rules regarding the use of ESG funds in agency-owned properties?
Answer:
Rule 576.404 states that HUD will consider an exception only after the recipient has provided documentation of public disclosure of the conflict and a description of how the public disclosure was made; and an opinion of the recipient’s attorney that the interest for which the exception is sought would not violate state or local law.
Question 4: Back to Top
Does the 30% area median income (AMI) limit apply to all applicants for ESG assistance?
Answer:
No. The 30% AMI limit does not apply to program participants who are being served under the Emergency Shelter or Street Outreach components.
• For Rapid Re-Housing, an income assessment is not required at initial evaluation. However, at annual re-evaluation, income must be at or below 30% AMI.
• For Homelessness Prevention assistance, households must have an income BELOW 30% AMI at initial evaluation, and have no other housing options, financial resources, or support networks. At reevaluation - not less than once every three months – the participant must have an annual income at or below 30% AMI.
Question 5: Back to Top
If an ESG case manager learns that a program participant’s annual income has increased and now exceeds 30% of AMI, must the recipient or subrecipient immediately stop providing assistance to the program participant?
Answer:
The recipient or subrecipient MAY require each program participant receiving Rapid Re-Housing assistance to notify the recipient or subrecipient regarding changes in the program participant’s income or other circumstances (e.g., changes in household composition) that affect the program participant’s need for assistance under ESG. In situations where the recipient or subrecipient has required such a notification, when notified of a relevant change, the recipient or subrecipient MUST re-evaluate the program participant’s eligibility and the amount and types of assistance the program participant needs. (24 CFR 576.401(b)(2)). If the recipient or subrecipient has not required such a notification, information about a change in a program participant's situation does not trigger a requirement for re-evaluation. The ESG manual addresses the issue of re-evaluation.
Question 6: Back to Top
How much match is required in ESG?
Answer:
100%The federal regulation for matching ESG funding is as follows:
§ 576.201 Matching requirement.
(a) Required amount of matching contributions.
(1) Except as provided under paragraphs (a)(2) and (a)(3) of this section, the recipient must make matching contributions to supplement the recipient’s ESG program in an amount that equals the amount of ESG funds provided by HUD.
(2) If the recipient is a State, the first $100,000 of the fiscal year grant is not required to be matched. However, the recipient must transfer the benefit of this exception to its sub recipients that are least capable of providing the recipient with matching contributions.
Question 7: Back to Top
What Counts as Match?
Answer:
Grantees/recipients may use any of the following in calculating the amount of matching funds provided:
• cash;
• the value or fair rental value of any donated material or building;
• the value of any lease on a building;
• any salary paid to staff to carry out the program of the recipient; and
• the value of the time and services contributed by volunteers to carry out the program of the recipient at a current rate of $5 per hour. [Note: Volunteers providing professional services such as medical or legal services are valued at the reasonable and customary rate in the community.]
• In addition, services such as: mental health case management can be used as match as well as case management by any other program that is providing services that are eligible activities for ESG.
Question 8: Back to Top
How do I pull information from ServicePoint to complete the ESG Provider Report?
Answer:
OHCS has provided the following guidance to assist you in pulling the required data: See the 8/28/13 Program Update at: .
Question 9: Back to Top
Do non-profit organizations have to check citizen status?
Answer:
ESG is considered a Federal public benefit under PRWORA, which generally prohibits unqualified aliens from receiving Federal public benefits. However, a nonprofit charitable organization is not required by the Act to seek an applicant’s confirmation that he or she is a qualified alien, or to have a separate entity verify the applicant’s status before providing benefits.
To be eligible for this exemption, an organization must be both ‘‘nonprofit’’ AND ‘‘charitable.’’
For purposes of this Guidance, an organization is ‘‘nonprofit’’ if it is organized and operated for purposes other than making gains or profits for the organization, its members or its shareholders, and is precluded from distributing any gains or profits to its members or shareholders.
An organization is ‘‘charitable’’ if it is organized and operated for charitable purposes. The term ‘‘charitable’’ should be interpreted in its generally accepted legal sense as developed by judicial decisions. It includes organizations dedicated to relief of the poor and distressed or the underprivileged, as well as religiously-affiliated organizations and educational organizations.
If your organization chooses to verify, even though it is a nonprofit charitable organization that is not required to do so under the Act, you should comply with the procedures set forth in this Guidance and provide benefits only to those whom you verify to be U.S. citizens, U.S. non-citizen nationals or qualified aliens. Any verification request to INS by a nonprofit charitable organization must be accompanied by the written consent of the individual whose status is to be verified to the release of information about the individual to a nongovernmental entity. The consent must be notarized or executed under penalty of perjury. (INS Form G–639 may be used for this purpose.)
Question: We are a Private Non-profit. Is this different?
Answer: A “private” non-profit means that the agency is not a publicly held agency and the profits go back into the organization and are not disbursed among shareholders, etc. If your agency is a 501(c)(3), there shouldn’t be any problem because we know your agency fits the “charitable organization” as defined. If you have different answers here as to what “private” means to you, then please contact our office to discuss this further.
Question 10: Back to Top
Do the same rules for lead based paint inspections apply to mobile homes?
Answer:
Yes, all units that were built pre-1976 and have a child under the age of 6 living there must be inspected for LBP.
Question 11: Back to Top
In ESG, when paying rental assistance for a mobile home, is the space rent included in the FMR.
Answer:
Yes.
Question 12: Back to Top
Can federal TANF & MOE funds be used to match ESG, CoC, SHP, S+C, and the Rural Housing Stability Assistance programs?
Answer:
Yes, It is permissible for federal TANF funds to be used as a match for the above-listed programs, but it is not permissible for state funds to be used as a match to count toward a jurisdiction’s MOE requirement.
In general, federal funds from one program may not be used as matching funds for another federal program unless federal law expressly authorizes that the funds be allowable as a match. However, according to recent appropriations acts, a grantee under HUD’s McKinney-Vento Act programs may use other federal funds as a match unless there is a specific statutory prohibition. The provision allowing for the use of funds from other federal agencies as a match for these McKinney-Vento Act programs first appeared in the FY 2009 HUD appropriations legislation and has been incorporated in each annual HUD appropriation since then.
There is no language in title IV-A of the Social Security Act which governs the TANF program that prevents Federal TANF funds from being used as matching funds for the above mentioned HUD homelessness programs. These matching funds must be used consistent with the TANF requirements as well as the requirements for the homelessness programs they are being used in. Please note: The use of federal TANF funds as a match for these HUD homeless programs is permissible so long as the HUD appropriation language, which allows for this matching arrangement, is in force.
Non-federal funds used to meet the matching requirement for the HUD homelessness programs cannot count as MOE in the TANF Program. The TANF statute and regulations, section 409(a)(7)(B)(iv)(IV) of the Social Security Act and 45 CFR 263.6(c), expressly prohibit counting expenditures made as a condition of receiving federal funds in another program toward a jurisdiction’s maintenance of effort requirement. For more information see:
Question 13: Back to Top
What strategies can we employ that will help us implement programs authorized under the HEARTH Act?
Answer:
HUD Exchange provided a 9-week, weekly update that helped focus on specific ways that we can change the way we do business. You can find each topic here:
• Prioritizing chronically homeless persons in PSH
• Evidence Based Practice: Adopting a Housing First approach for PSH
• Evidence Based Practice: Rapid Re-Housing and HUD’s stance on Transitional Housing
• Family and Youth Homelessness
• Utilizing Mainstream Resources
• Importance of Centralized and Coordinated Assessment
• Building Public and Private Partnerships
• Collaborating to Combat Homelessness Among Vets
• Getting Back on Course
Question 14: Back to Top
Where can I find nation-wide information on ending homelessness?
Answer:
The United States Interagency Council on Homelessness maintains a blog of useful and helpful information on all topics of homelessness. You can find that website here.
Question 15: Back to Top
What are the requirements for case management to help ensure housing stability with Rapid Re-Housing and Homelessness Prevention Assistance?
Answer:
Find detailed information at the HUD Exchange website in SNAPS-Shots #3 given here.
Question 16: Back to Top
What are the requirements for rental assistance agreements and leases?
Answer:
Find detailed information at the HUD Resource Exchange website in SNAPS-Shots given here.
Question 17: Back to Top
What are the requirements for rent reasonableness and fair market rents?
Answer:
Find detailed information at the HUD Exchange website here.
Question 18: Back to Top
Is an Oregon 72-hour notice of eviction sufficient to meet one of the definitions for homelessness?
Answer:
HUD’s field counsel for the Portland field office has determined that the “72-Hour Notice of Termination for Nonpayment of Rent” may be considered equivalent under Oregon state law to the Notice to Terminate specified in 24 CFR 576.500(b)(3)(i)(A). However, even if the notice to terminate sufficiently demonstrates that the individual will lose his or her housing within 14 days of applying for assistance, ALL of the following requirements must also be met for the individual to receive ESG rental assistance under the homelessness prevention component:
1) The individual must be evaluated in accordance with applicable written standards and procedures established under 576.400(e), including the policies and procedures for determining and prioritizing which eligible families and individuals will receive homelessness prevention assistance;
2) The individual must meet the other two criteria in paragraph (2) of the “homeless” definition in 576.2, meaning:
a) The individual must certify, in writing, that no subsequent residence has been identified;
b) The individual must certify, in writing, or provide other written documentation that he or she lacks sufficient resources and support networks (e.g., family, friends, faith-based or other social networks) to obtain other permanent housing.
3) The individual must have an annual income below 30% of AMI, as determined by HUD for income calculation and documentation requirements; AND
4) The recipient or subrecipient must reasonably determine that the rental assistance is necessary to prevent the individual from moving into an emergency shelter or another place described in paragraph (1) of the “homeless” definition in 576.2.
Criteria for Defining Homeless: Imminent Risk of Homelessness
(2) individual or family who will imminently lose their primary nighttime residence, provided that:
(i) Residence will be lost within 14 days of the date of application for homeless assistance;
(ii) No subsequent residence has been identified; and
(iii) The individual or family lacks the resources or support networks needed to obtain other permanent housing
Record Keeping Requirements: Imminent Risk of Homelessness
A) A court order resulting from an eviction action that requires the individual or family to leave; OR
B) For individuals and families leaving a hotel or motel-evidence that they lack financial resources to stay; OR
C) A documented and verified oral statement; AND
(ii) Certification by the individual or head of household that no subsequent residence has been identified; and
(iii) Certification or other written documentation that the individual or family lacks the resources and support networks needed to obtain other permanent housing.
Question 19: Back to Top
What services can be provided under Street Outreach and Emergency Shelter?
Answer:
Find detailed information at the HUD Exchange SNAPS Shots.
Question 20: Back to Top
What is “Progressive Engagement”?
Answer:
Find detailed information at the United States Interagency Council on Homelessness website here.
Question 21: Back to Top
What ESG funds can be used to pay for Identification Documents, such as Drivers Licenses, Birth Records, etc.? These documents are necessary to help individuals apply for SSI, SSDI, Employment, housing, etc.
Answer:
ESG funds may be used to pay for primary documents, such as driver licenses or birth records, only when the primary documents are necessary for a program participant to obtain and/or maintain housing. The costs associated with obtaining primary documents for this purpose may be charged under the following activities:
• Emergency Shelter: essential services; case management
• Rapid Re-Housing: Housing stability case management
• Homelessness Prevention: Housing stability case management
However, please note that recipients and subrecipients should use funds other than ESG program funds whenever possible to cover the cost of obtaining primary documents.
Question 22: Back to Top
What does an intake assessment look like?
Answer:
An intake refers to the information that must be collected as part of the data collection requirements of all programs. Data elements may be collected on the HUD Info Entry and Exit form in ServicePoint or another method; however, all standard HMIS data elements must be collected.
An assessment refers to information that is collected and analyzed to assess a household’s needs. Assessments are required for ESG. An assessment may include information on a household’s employment, health, education, strengths, weaknesses, goals, assistance needs, referral requirements or other elements as designed by the subgrantee.
Question 23: Back to Top
Are ESG-HP payments on rent arrears subject to FMR restrictions?
Answer:
Rent restrictions discussed in the ESG Interim Rule at CFR 576.106(d) do not apply when ESG funds are being used for rental arrears assistance. However, because the goal of the ESG program is to help program participants achieve stability in permanent housing, it would not be advisable to assist the household with arrears in order to stay in a unit with rent that the household will not be able to sustain.
Question 24: Back to Top
Does a utility shut-off notice suffice for a client to qualify for “at risk of homelessness” for ESG?
Answer:
If the household is going to have to leave the housing due to a lack of utilities and can avoid literal homelessness by having utilities paid, and meets other ESG eligibility requirements, then a household may be assisted under the Homelessness Prevention component with utility-only assistance..
Question 25: Back to Top
For ESG, is a letter from the landlord to vacate due to doubled up/shared housing living arrangements satisfactory in order to qualify for homeless assistance?
Answer:
As stated in the ESG Operations Manual, Appendix 6. Homelessness Prevention Documentation: for a living situation of “Other housing occupied by applicant without paying rent (including housing shared with friends or family)”, acceptable types of documentation include a copy of lease naming host family/friend as leaseholder and a copy of eviction letter from host family or friend who owns or rents the housing that notifies the applicant that they must leave. Documentation must be kept in the participant’s file.
Question 26: Back to Top
How will client files be monitored under a Coordinated Assessment monitoring process?
Answer:
If your Continuum of Care has implemented a coordinated assessment system, client files will be monitored using that coordinated assessment system’s standards.
Question 27: Back to Top
What are ESG occupancy standards?
Answer:
The federal ESG rule does not specify an occupancy standards policy. Subgrantees may develop their own standards. This is addressed in more detail in the Occupancy Standards section of the ESG Operations Manual.
Question 28: Back to Top
When is ESG rapid re-housing reassessment required?
Answer:
Re-evaluations of eligibility for continued receipt of homelessness prevention and rapid re-housing assistance using ESG funds are required every three (3) months for prevention and annually for rapid re-housing. Minimally, each re-evaluation of eligibility must verify that the client household does not have an annual income that exceeds thirty (30) percent of HUD-determined median family income for the service area AND the household continues to lack sufficient resources and support networks needed to retain housing without ESG assistance. If a client household informs, but is not required to notify the Subgrantee of a change in income or other circumstances that may affect eligibility, there is no immediate effect on the program participant’s eligibility and assistance can continue at the discretion of the subgrantee until the next required re-evaluation. There is no HUD or OHCS requirement that the client notify the subgrantee of changes to income prior to the required re-evaluations as specified above. 24 CFR 576.401
Question 29: Back to Top
If a landlord charges a tenant a flat rate for utilities, do you use that as your utility allowance?
Answer:
Gross rent is used to calculate rent subsidy ESG. HUD mandates the gross rent of a unit be the total of the actual rent and appropriate utility allowance. If a landlord collects a flat utility payment as part of rent, that amount must be subtracted from the gross rent total before continuing with the subsidy determination.
Question 30: Back to Top
What can we do when vacant unit rents all exceed FMR?
Answer:
HUD is very specific about the FMR requirement for ESG. No ESG-funded rental assistance can be provided for any unit with rent exceeding the FMR for that type unit. However, financial assistance, which would include payment of both deposits and arrearages, is not limited to units which meet FMR.
Question 31: Back to Top
Does the unit have to meet FMR if all you’re paying is the security deposit?
Answer:
No. For ESG, a security deposit is considered financial assistance. Financial assistance costs are not restricted by the FMR.
Question 32: Back to Top
If you qualify for a two bedroom unit but find a three bedroom unit for the same rent as the two-bedroom FMR, how do you work the utility allowance?
Answer:
Utility allowances are based on the projected amount of energy consumption of a household, so UA calculations are influenced by the number of members in the household rather than the number of bedrooms in the unit. For this reason, the UA for the size unit for which the household qualifies would be used. In this example, that would be a UA for a two bedroom unit.
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